Joseph M. Scutts
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Michael Scutts, who also goes by Joseph M Scutts, Joseph Michael Scutts, Joseph Scutts, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2006. Joseph had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2024 - May 9, 2025
EDWARD JONES
May 10, 2024 - May 9, 2025
EDWARD JONES
December 7, 2023 - June 11, 2024
MASTERWORKS ADVISERS, LLC
September 29, 2023 - November 30, 2023
EQUITABLE ADVISORS, LLC
September 29, 2023 - November 30, 2023
EQUITABLE ADVISORS, LLC
April 2, 2019 - May 24, 2023
J.P. MORGAN SECURITIES LLC
April 2, 2019 - May 24, 2023
J.P. MORGAN SECURITIES LLC
May 18, 2018 - February 21, 2019
SANTANDER SECURITIES LLC
May 17, 2018 - February 21, 2019
SANTANDER SECURITIES LLC
September 22, 2017 - May 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2017 - May 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2017 - August 30, 2017
CAPITAL ONE ADVISORS, LLC
February 14, 2017 - August 30, 2017
CAPITAL ONE INVESTING, LLC
March 6, 2015 - January 4, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 3, 2015 - January 4, 2017
TD AMERITRADE, INC.
March 2, 2015 - January 4, 2017
TD AMERITRADE, INC.
September 22, 2014 - December 19, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 6, 2014 - December 19, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 22, 2011 - April 2, 2014
CITIGROUP GLOBAL MARKETS INC.
September 13, 2007 - August 12, 2011
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2007 - February 20, 2007
MATRIX CAPITAL GROUP, INC.
June 2, 2006 - January 22, 2007
METROPOLITAN LIFE INSURANCE COMPANY
June 2, 2006 - January 22, 2007
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
